Financial Advisory Specialist

2 weeks ago

San Antonio, Texas, United States Raymond James Financial Incorporated Full time

Position Overview:


Under minimal oversight, utilizes specialized expertise and skills acquired through experience, targeted training, or certification to act as a resource for Financial Advisors and their clientele concerning comprehensive financial planning matters. These may encompass portfolio structuring, tax advisory, retirement strategy, qualified retirement schemes, risk assessment, estate management, educational funding, and small business advisory.

Continuously enhances knowledge of the financial sector and market dynamics through ongoing education.

Key Responsibilities:

  • Collaborates with Financial Advisors to assess clients' existing portfolio configurations, comprehend client objectives, input client data, and perform financial evaluations.
  • Analyzes individual and employer-sponsored retirement requirements, investigates various options, and proposes planning solutions.
  • Investigates and offers recommendations concerning risk management issues, including insurance.
  • Crafts and proposes a customized financial analysis or an all-encompassing financial strategy for clients and prospects that aligns with their short and long-term financial aspirations.
  • Develops presentations that effectively convey the recommendations and alternatives related to the client's financial analysis and comprehensive plan design.
  • Conducts thorough document assessments; evaluates client information and situations across the financial planning spectrum to formulate plans.
  • Researches necessary information on a case-by-case basis and drafts tailored financial plan observations and recommendations for each client scenario.
  • Prepares documentation for meetings with both existing and prospective clients.
  • Coordinates and follows up on any required communication with new or existing clients.
  • Regularly monitors clients' financial situations with precision and accuracy, maintaining a holistic view of their financial landscape.
  • Addresses client inquiries through various communication channels.
  • Educates clients on the functions of different securities markets and the primary factors influencing them.
  • Provides insights on estate planning options and strategies.
  • Responds to and directs inquiries regarding educational funding, including 529 savings plans.
  • Assists with advice on small business planning.
  • Conducts research as necessary related to assigned client cases, including basic tax inquiries and other legal matters, seeking guidance when appropriate.
  • May engage in client presentations.
  • May manage customer accounts, including opening, transferring, and closing accounts while maintaining accurate records.
  • May obtain and verify client transaction instructions, enter orders, and ensure completion of transactions.
  • Ensures adherence to firm and regulatory policies within compliance standards.
  • Performs additional duties and responsibilities as assigned.
Qualifications:

Required Skills and Knowledge:

  • Fundamental investment principles, practices, and procedures utilized in the securities sector.
  • Understanding of economic and accounting principles, financial markets, investments, and insurance-based products.
  • Knowledge of concepts and regulations pertinent to financial planning.
  • Familiarity with the company's operational structure, policies, mission, strategies, and compliance guidelines.
  • Effective verbal and written communication skills to deliver clear, professional presentations.
  • Ability to identify customer needs through effective questioning and listening techniques.
  • Proficiency in operating client relationship management systems and other necessary software applications to generate financial plans, correspondence, reports, electronic communications, spreadsheets, and databases.
  • Strong organizational and time management skills to prioritize tasks, manage multiple responsibilities, and meet deadlines.
  • Attention to detail to ensure quality standards are met without disrupting workflow.
  • Ability to follow up to ensure resolution and completion of tasks.
  • Capability to integrate clients' financial needs and goals into a concise, professional presentation outlining their options.
  • Ability to read and interpret technical and legal documents, applying the information as necessary.
  • Skills to organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities in a dynamic work environment.
  • Effective oral and written communication skills to interact with and guide clients on various planning options.
  • Commitment to continuous learning about investment products, industry regulations, and financial planning.
  • High level of customer service delivered in a calm, courteous, and professional manner.
  • Ability to establish and maintain effective working relationships at all levels of client engagement.
  • Capacity to work independently as well as collaboratively within a team setting.
  • Ability to analyze daily activity reports for sales practices, suitability, and performance issues.

Educational and Experience Requirements:

  • Bachelor's Degree (B.A.) in a related field with a minimum of two (2) years of experience in financial, retirement, and estate planning or in marketing these services.
~or~

  • Any equivalent combination of experience, education, and/or training as approved by Human Resources.

Licenses and Certifications:

  • Securities Industry Essentials (SIE) required unless exempt or grandfathered.
  • Series 7 license.
  • Series 63, 65, and/or 66 as mandated by state regulations.
  • Registered Paraplanner designation or the ability to obtain within two (2) to five (5) years of employment.
Raymond James Guiding Principles


At Raymond James, our associates embody five guiding principles (Develop, Collaborate, Decide, Deliver, Improve) to uphold the firm's core values of client-first, integrity, independence, and a conservative, long-term perspective.

We expect our associates at all levels to:

  • Advance professionally and inspire others to do the same.
  • Collaborate effectively with others to achieve desired outcomes.
  • Make timely, pragmatic decisions with the client’s best interests in mind.
  • Take ownership and hold themselves and others accountable for delivering meaningful results.
  • Contribute to the ongoing evolution of the firm.

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